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Category: Failure to Supervise

Financial Advisor Mitchell Yanow (Stifel, Nicolaus & Company, Incorporated) Customer Complaints

The Wolper Law Firm is currently investigating claims against Mitchell Yanow, a former Financial Advisor at Stifel Nicolaus & Co. in Boca Raton, FL.  Mitchell Yanow first entered the securities industry in the 1990s and previously worked for Oppenheimer & Co. and Wachovia Securities. According to publicly available records released by the Financial Industry Regulatory […]

Financial Advisor Peter Klaass (Allegis Investment Services, LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Peter Klaass, a former Financial Advisor at Allegis Investment Services, LLC in Las Vegas, Nevada.  Peter Klaass first entered the Securities industry in 1993 and previously worked for Signator Financial Services, LPL Financial, Financial Network Investment Corp. and Edward Jones. According to publicly available records released […]

Financial Advisor Stephen Williams (NEXT Financial Group, Inc.) Customer Complaints

The Wolper Law Firm is currently investigating claims against Stephen Williams, a Financial Advisor at NEXT Financial Group, Inc. in Madison, Alabama.  Stephen Williams entered the securities industry in 2002 and previously worked for Raymond James. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Stephen Williams has eight (8) disclosures […]

Financial Advisor Steven Pagartanis (Cadaret, Grant & Co., Inc.) Customer Complaints

The Wolper Law Firm is currently investigating claims against Steven Pagartanis, a former Financial Advisor at Cadaret, Grant & Co. and Lombard Securities in Seatauket, KY.  Steven Pagartanis has been in the securities industry since 1989 and has worked for several other brokerage firms, including Woodbury Financial Services, Invest Financial Corp. and Yankee Financial Group. […]

Financial Advisor Steven Knuttila (Capital Financial Services) Customer Complaints

The Wolper Law Firm is currently investigating claims against Steven Knuttila, a former Financial Advisor at Capital Financial Services in Perham Minnesota.  Steven Knuttila’s past employments include Questar Capital Corp., US Allianz Securities, Raymond James and Edward Jones. According to public records released by the Financial Industry Regulatory Authority (FINRA), on June 19, 2018, Steven  […]

Financial Advisor Oscar Francis (MML Investors Services, LLC) Customer Complaints

The Wolper Law Firm is currently investigating claims against Oscar Francis, a former Financial Advisor at MML Investors Services in Ft. Lauderdale, FL. In April 2017, the Department of Justice commenced an investigation into Oscar Francis regarding “selling away and [an] outside business activity.” The Financial Industry Regulatory Authority (FINRA) strictly prohibits financial advisor from […]

Financial Advisor Michael Mathias (Summit Brokerage Services) Customer Complaints

The Wolper Law Firm is currently investigating claims against Summit Brokerage Services Financial Advisor, Michael Mathias, based in Mt. Kisco, NY. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), as of June 2018, Michael Mathias has twenty (20) reported customer complaints on his BrokerCheck report.  Statistically, it is exceedingly rare […]